Andrew J. Jaramillo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Jude Jaramillo, who also goes by Andrew Jude Jaramilla, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1971. Andrew had worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2013 - November 3, 2025
PLANMEMBER SECURITIES CORPORATION
January 18, 2013 - November 3, 2025
PLANMEMBER SECURITIES CORPORATION
February 20, 1998 - December 10, 2012
EAGLE STRATEGIES LLC
May 24, 1988 - December 7, 2012
NYLIFE SECURITIES LLC
August 3, 1984 - January 1, 1986
NYLIFE SECURITIES LLC
November 2, 1983 - April 5, 1988
CRESCENT SECURITIES CORPORATION
July 19, 1982 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
August 12, 1980 - March 30, 1989
LEGEND CAPITAL CORPORATION
September 14, 1976 - May 8, 1977
CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY
September 14, 1976 - May 8, 1977
CAL-WESTERN SECURITIES CO.
October 17, 1972 - November 27, 1979
NYLIFE SECURITIES LLC
January 13, 1971 - April 17, 1978
OSAIC FA, INC.
January 13, 1971 - December 30, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 1/7/1971
Registered Representative ExaminationCurrent Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
